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24 Jan 2019, 7:44 am
(FINRA Case #2016048942501) Heather Xanthe VanLandingham (CRD #5343446, Odessa, Florida) – An AWC (Accept, Waiver & Consent) was issued in which VanLandingham was fined $5,000 and suspended from association with any FINRA member in all capacities for 20 business days. [read post]
23 Jan 2019, 2:22 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Robert Jamison (Jamison), formerly associated with PNC Investments, in December 2018, was sanctioned and barred from the securities industry by FINRA over accusations of potentially selling unapproved products. [read post]
23 Jan 2019, 2:21 pm
Claims may be brought in securities arbitration before FINRA. [read post]
23 Jan 2019, 1:25 pm
The aforementioned dispute was filed on December 3, 2018, FINRA states, and is requesting damages of $300,000, FINRA states. [read post]
23 Jan 2019, 12:33 pm
The SEC requires the seller of a variable annuity to possess a Series 6 or 7 brokerage license with the Financial Industry and Regulatory Authority (FINRA). [read post]
23 Jan 2019, 12:14 pm
If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Arbitration claim against the brokerage firm that sold you the investment. [read post]
23 Jan 2019, 10:05 am
Brokerage Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
23 Jan 2019, 7:57 am
Voss, was awarded $1.075 million by FINRA. [read post]
23 Jan 2019, 6:09 am
Unlike previous letters, FINRA has not repeated topics that have been the mainstays of FINRA’s attention over the years. [read post]
23 Jan 2019, 3:49 am
You know that thought-piece about whether a tree makes a sound when it falls in the woods but no hears it? [read post]
22 Jan 2019, 12:57 pm
(CRD #32664, one of four previous employers expelled by FINRA, on 10/06/2015) and The Vertical Group (CRD #104353), all of New York, NY. [read post]
22 Jan 2019, 12:32 pm
Although Kroeger still holds Series 7 and 63 licenses, he is not currently associated with a FINRA member firm. [read post]
22 Jan 2019, 12:30 pm
Said dispute was filed on December 12, 2014, and requested damages of $652,000.00, FINRA states. [read post]
22 Jan 2019, 12:28 pm
They must ensure they are complying with FINRA rules. [read post]
22 Jan 2019, 12:25 pm
The aforementioned dispute was filed on December 5, 2018, FINRA states, and is requesting damages of $172,420.85, FINRA states. [read post]
22 Jan 2019, 12:20 pm
Continue reading The post FINRA Bars Daniel Winger For Improper Use Of Customer Funds appeared first on Securities Arbitration Lawyers Blog. [read post]
22 Jan 2019, 9:15 am
His most two most recent disclosures are FINRA disciplinary actions. [read post]
22 Jan 2019, 7:04 am
He is now suspended in all capacities from associating with any FINRA member. [read post]
22 Jan 2019, 6:26 am
Claims may be brought in securities arbitration before FINRA. [read post]
21 Jan 2019, 1:09 pm
However, according to FINRA, many of broker-dealer’s customers that bought these shares wanted a long-term investment horizon and would have benefited more from being sold B-share contracts. [read post]
